FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF
SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or
Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person * | 2. Issuer Name and Ticker or Trading Symbol | 5. Relationship of Reporting Person(s) to Issuer |
(Check all applicable) |
KHOSROWSHAHI DARA | Uber Technologies, Inc [ UBER ] | __X__ Director | _____ 10% Owner | |||||||||||||||||||||||||
(Last) | (First) | (Middle) | 3. Date of Earliest Transaction (MM/DD/YYYY) | |||||||||||||||||||||||||
__X__ Officer (give title below) _____ Other (specify below) | ||||||||||||||||||||||||||||
1455 MARKET STREET, 4TH FLOOR | 7/22/2019 | Chief Executive Officer | ||||||||||||||||||||||||||
(Street) | 4. If Amendment, Date Original Filed (MM/DD/YYYY) 6. Individual or Joint/Group Filing (Check Applicable Line) | |||||||||||||||||||||||||||
SAN FRANCISCO, CA 94103 | 7/24/2019 | _X _ Form filed by One Reporting Person | ||||||||||||||||||||||||||
(City) | (State) | (Zip) | ___ Form filed by More than One Reporting Person | |||||||||||||||||||||||||
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||||||||||||||
1.Title of Security | 2. Trans. Date | 2A. Deemed | 3. Trans. Code | 4. Securities Acquired (A) | 5. Amount of Securities Beneficially Owned | 6. | 7. Nature | |||||||||||||||||||||
(Instr. 3) | Execution | (Instr. 8) | or Disposed of (D) | Following Reported Transaction(s) | Ownership | of Indirect | ||||||||||||||||||||||
Date, if any | (Instr. 3, 4 and 5) | (Instr. 3 and 4) | Form: | Beneficial | ||||||||||||||||||||||||
Direct (D) | Ownership | |||||||||||||||||||||||||||
or Indirect | (Instr. 4) | |||||||||||||||||||||||||||
(A) or | (I) (Instr. | |||||||||||||||||||||||||||
Code | V | Amount | (D) | Price | 4) | |||||||||||||||||||||||
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | ||||||||||||||||||||||||||||
1. Title of | 2. | 3. Trans. | 3A. Deemed | 4. Trans. | 5. Number of | 6. Date Exercisable and | 7. Title and Amount of | 8. Price of | 9. Number of | 10. | 11. Nature | |||||||||||||||||
Derivate Security | Conversion | Date | Execution | Code | Derivative Securities | Expiration Date | Securities Underlying | Derivative | derivative | Ownership | of Indirect | |||||||||||||||||
(Instr. 3) | or Exercise | Date, if any | (Instr. 8) | Acquired (A) or | Derivative Security | Security | Securities | Form of | Beneficial | |||||||||||||||||||
Price of | Disposed of (D) | (Instr. 3 and 4) | (Instr. 5) | Beneficially | Derivative | Ownership | ||||||||||||||||||||||
Derivative | (Instr. 3, 4 and 5) | Owned | Security: | (Instr. 4) | ||||||||||||||||||||||||
Security | Following | Direct (D) | ||||||||||||||||||||||||||
Amount or | ||||||||||||||||||||||||||||
Date | Expiration | Reported | or Indirect | |||||||||||||||||||||||||
Code | V | (A) | (D) | Exercisable | Date | Title | Number of | Transaction(s) | (I) (Instr. | |||||||||||||||||||
Shares | (Instr. 4) | 4) | ||||||||||||||||||||||||||
Restricted Stock | $0.00 | 7/22/2019 | A(1) | 629722.00 | 7/1/2020 | Common | 629722.00 | $0.00 | 629722.00 | D | ||||||||||||||||||
Units | Stock | |||||||||||||||||||||||||||
Explanation of Responses:
- Consists of 629,722 restricted stock units (RSUs) which are scheduled to vest on July 1, 2020, subject to earlier vesting in certain circumstances. Upon vesting, the RSUs become payable in cash or common stock on a one-for-one basis at the election of the issuer. This Form 4/A is being filed by the Reporting Person to amend the Form 4 filed on July 24, 2019 to report the acquisition of 629,722 RSUs in Table II rather than Table I.
Reporting Owners
Reporting Owner Name / Address | Relationships | ||||||
Director | 10% Owner | Officer | Other | ||||
KHOSROWSHAHI DARA | |||||||
1455 MARKET STREET, 4TH FLOOR | X | Chief Executive Officer | |||||
SAN FRANCISCO, CA 94103 | |||||||
Signatures | |||||||
/s/ Keir Gumbs by Power of Attorney for Dara Khosrowshahi | 2/19/2020 | ||||||
**Signature of Reporting Person | Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
- If the form is filed by more than one reporting person, see Instruction 4(b)(v).
- Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Uber Technologies Inc. published this content on 19 February 2020 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 20 February 2020 01:36:03 UTC